| 09-03593 | 03/21/2011 | Claimant(s): Roman Bardens
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Ft. Lauderdale, FL
|  | $10,000 |
| 09-01992 | 03/14/2011 | Claimant(s): Carl Mielnicki, Donald Knicley, Frederick Krause, Thomas Leo
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Andrew W. Sidman
Arbitrator(s): Frank C. Fogl, Jeffrey Mark Schwartz, Ralph L. Halpern
Hearing Site: Rochester, NY
| | $0 |
| 09-06903 | 03/04/2011 | Claimant(s): Maureen Perfect
Claimant Lawyers(s): Chris D. Barski
Respondent(s): Wachovia Securities, David Neunuebel, Dylan Minor
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): Mica T. Duncan, Marc Kalish, Aryka Steele Radke
Hearing Site: Phoenix, AZ
| | $0 |
| 10-02474 | 03/01/2011 | Claimant(s): Raifman Family Rev Intel Trust
Claimant Lawyers(s): Brian G. Isaacson
Respondent(s): Wachovia Securities, George Gordon
Respondent Lawyers(s): David A. Picon, Ronald E. Wood
Arbitrator(s): Mary Curran, Frank R Weaver, Nancy Hutt
Hearing Site: San Francisco, CA
| | $0 |
| 09-03803 | 02/22/2011 | Claimant(s): Gilbert Lee, Lee Family Trust
Claimant Lawyers(s): Marc D. Mabile
Respondent(s): Bart Martinez, Wachovia Securities, A.G. Edwards & Sons.
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Guenter S. Cohn
Hearing Site: San Diego, CA
| | $34,305 |
| 09-03471 | 02/14/2011 | Claimant(s): Steve Fraser
Claimant Lawyers(s): John Gulino
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | $25,000 |
| 09-02029 | 02/03/2011 | Claimant(s): Richard Brown, Sarah & David Brown Trust by Karen Midy
Claimant Lawyers(s): Donald Liberman
Respondent(s): Bruce Pomerantz, Charles Merwin, Wachovia Securities
Respondent Lawyers(s): Brian J. Ellis, Robert A.W. Boraks
Arbitrator(s): Craig Scott Bartlett, Louis H. Miron, John E. Shine
Hearing Site: Newark, NJ
| | $0 |
| 08-03963 | 01/28/2011 | Claimant(s): Ruth Paulsen by David Paulsen thr POA
Claimant Lawyers(s): Herbert Rubin
Respondent(s): Wachovia Securities, Evergreen Investment Services.
Respondent Lawyers(s): Joseph P. Pohl
Arbitrator(s): Allan E. Johnson, John Nino Brenkovich, Richard Gee
Hearing Site: New York, NY
| | $27,015 |
| 09-01961 | 01/21/2011 | Claimant(s): Cynthia Brown, Wayne Brown
Claimant Lawyers(s): Joel M. Weiner
Respondent(s): Wachovia Securities, Dennis Anderson
Respondent Lawyers(s): Jeff Jamieson
Arbitrator(s): Ray J. Grzebielski, Jay K. Buck, Lee H. Goodman
Hearing Site: Chicago, IL
| | $0 |
| 10-02327 | 01/20/2011 | Claimant(s): Richard Cain
Claimant Lawyers(s): Richard Y. Cain
Respondent(s): Wachovia Securities, Paul Ross
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Langfred W. White
Hearing Site: Jacksonville, FL
| | $0 |
